Data Exchange Standards for the interaction with the ITL 08 November 2004 Bonn, Germany Peggy Quarles Perrin Quarles Associates, Inc.

Reconciliation The process by which data from different registry systems are compared and inconsistencies resolved.

Why do you need Reconciliation? Credibility Data accuracy Process to identify and correct problems

Reconciliation Registry and ITL agree on timing HOWEVER, if discrepancies exist… …an alternate process takes place.

Reconciliation (continued) If Data discrepancies exist… …the ITL works to isolate and identify units in question to facilitate the final step in the reconciliation process… ITL

Key Elements of Reconciliation Good communication Flexibility in timing, starting point and phases Technical feasibility

Notifications A Notification is a communication to a registry from the ITL about a required or recommended action involving unit transactions.

Types of Notifications Net source cancellation Non-compliance cancellation Impending tCER or lCER expiry Reversal of storage for CDM Project Non-submission of Certification Report for CDM Project Excess issuance for CDM Project CPR level problem Unit carry-over

Elements of a Notification Notification ID Number of Units Unit Blocks Update or status report for earlier notification

Typical Notification Process Registry ITL ITL sends notification of transaction requirements including Notification ID. Registry responds with transactions including the Notification ID. ITL monitors compliance with transaction requirements. ITL send updates to Registry indicating progress or completion of requirements ITL reports to CDM Executive Board and other entities ITL Administrator initiates notification.

Other Requirements in the DES Data Records Change Management Registry Testing and Initialization

What do Registry Systems Record? All transactions, including detail about unit blocks and response codes All reconciliation messages All notifications All internal activity (who changed what and when) A message archive (storage of XML files)

Change Management Change management is the process by which the Data Exchange Specifications can be modified.

Change Management Changes or enhancements are unavoidable Changes will be minimized to provide stability and reduce costs Registries and ITL will cooperate to implement changes methodically ITL Administrator will have key role in coordinating and communicating regarding changes

Registry Initialization Initialization is the process of bringing a registry system on-line, allowing it to fully participate with the ITL in a trading scheme. This is a technical process, not related to eligibility.

What does a Registry Need to Do? Establish and test communications Coordinate and perform testing with ITL, per Annex H Develop and submit documentation Provide government account information

Required Registry Documents Backup and Recovery Plan Disaster Recovery Plan Security Plan Time Validation and Data Logging Plans Version and Change Management Plan Test Plans and Reports Operational Plan